Timothy H. Benedict
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy Hall Benedict, who also goes by Tim Benedict, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1994. Timothy had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2014 - January 29, 2016
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
August 5, 2011 - March 1, 2012
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
November 30, 2005 - June 17, 2011
HIMCO DISTRIBUTION SERVICES COMPANY
August 12, 2004 - November 19, 2004
CAPITAL BROKERAGE CORPORATION
July 26, 2002 - August 12, 2004
GE INVESTMENT DISTRIBUTORS, INC
May 5, 1997 - April 7, 1999
GOLDMAN SACHS & CO. LLC
January 1, 1997 - April 4, 1997
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 21, 1994 - January 1, 1997
PRUDENTIAL EQUITY GROUP, LLC
August 14, 1994 - October 17, 1994
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
CRD#: 21771 / SEC#: , 8-39227
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENT MANAGEMENT, LLC | CORPORATE PARENT OF APPLICANT | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| ERICKSON, ROSS EDWARD | DIRECTOR | 3003283 |
| JUNG, BRAD EDWARD | CHAIRMAN AND PRESIDENT | 2419757 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
